RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• W•••••• F••••••
- O••••••••• • C•• I••• BD affiliated currentsince May 4, 2022 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to May 6, 2022 · St. Louis, Mo
- B••••••• C•••••• I••• formerAug 13, 2013 to Dec 4, 2015 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMMay 21, 2007 to Sep 4, 2013 · San Francisco, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Oct 28, 2003 · New York, Ny
- P••••••• L•• unclassifiedJul 25, 2002 to Jan 17, 2003 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• to O••••••••• • C•• I•••left May 6, 2022, registered May 4, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to B••••••• C•••••• I•••left Sep 4, 2013, registered Aug 13, 2013 (-22 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Oct 28, 2003, registered May 21, 2007 (1301 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- D•••• W•••••• F•••••• left S•••••• N••••••• • C••••••• I••••••••• for O••••••••• • C•• I••• (registered 2022-05-04)May 6, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address